Our Staff has compiled our research into a database of FINRA Broker Disclosures for . Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Mike Alan Demeuse | 2965447 | 1 | 09/02/2008 | Customer Dispute | Settled | $2,000.00 | $0.00 | See FINRA Report |
| Hubert Francis Obrien | 859430 | 2 | 08/26/2008 | Customer Dispute | Settled | $850,000.00 | $0.00 | See FINRA Report |
| Lawrence Ira Goldstein | 3223787 | 10 | 08/26/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Mark Deimling | 5462552 | 1 | 08/05/2008 | Customer Dispute | Settled | $7,034.29 | $0.00 | See FINRA Report |
| Max J Scholfield | 2092692 | 2 | 08/04/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Craig Herbert | 1968586 | 4 | 08/01/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Max J Scholfield | 2092692 | 2 | 07/18/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Janet Lee Baker | 4185456 | 1 | 07/08/2008 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Charles Lane Bowen | 1533259 | 1 | 07/01/2008 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Christopher Nicholas Caputo | 1389962 | 4 | 06/27/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |